TERMS AND CONDITIONS OF USE OF DORNA’S INTERNAL COMMUNICATIONS CHANNEL
The purpose of this document is to set forth the underlying principles regarding the use of the internal communications channel enabled by DORNA (hereinafter “DORNA”) for its employees so that they can inform the organization of any conduct that may involve the commission of a crime or other reprehensible behaviour, without any retaliation against the informant.
DORNA’s employees can submit its communications through the Internal Communications Channel of the company: https://report.whistleb.com/dorna
Sending of any communication through the internal communications implies knowledge and full acceptance of the conditions of use contained in this document.
2 CONDUCTS SUSCEPTIBLE TO COMMUNICATION
Conducts susceptible of being communicated through the internal communication channel are, among others (numerus apertus) the following:
Harassment, hostile or offensive conducts;
Actions related to possible irregularities in the relationship with suppliers and/or purchases; Actions related to public and private corruption;
Misappropriation and Diversion of Resources;
Misappropriation and Diversion of Resources;
Accounting Irregularities and Inaccuracies;
Conflict of Interest;
Improper commitments with third parties;
Falsification of documents, contracts, reports or records; Violation of employee rights, breaches of the applicable collective bargaining agreement;
Violations of Information Security;
Any behaviour involving improper conduct and irregularities which are contrary to values and principles that govern DORNA;
And, in short, any behaviour that could contravene the applicable regulations, the Code of Conduct or DORNA‘s internal policies and procedures.
3 GENERAL RULES OF THE INTERNAL COMMUNICATIONS CHANNEL.
3.1 Presentation of communications
Submission of internal communications or inquiries in the Internal Communications Channel must be made exclusively through the following direct link to the Internal Communications Channel:
Additionally, there is the possibility, at the informant request, of submitting a communication by means of a face-to-face or telematic meeting within a maximum period of seven (7) days.
Communications submitted by means of a face-to-face or telematic meeting will receive the same consideration and procedure once they have been received as those submitted through the internal reporting channel.
3.2 Content of a communication
The following information must be included in all communications in order to be processed:
Location where the reported conduct takes place (DORNA office, competition, travel, or any other place where it has been possible to verify the conduct reported).
Description of the reported conduct or, if applicable, section of the Code or Internal Policy on which clarification or interpretation is sought.
Time at which the conduct occurred.
Categorize if it is punctual or recurrent.
Identification of the alleged perpetrator(s).
Detail how the irregularity came to your attention.
Documentation attached to the communication (evidence or clues).
3.3 Reception and formal analysis of the communication
The communication will be initially received by a third independent party (ECIJA Law), who will issue an acknowledgement of receipt of the communication within seven (7) calendar days, unless it could jeopardize the confidentiality of the communication.
Subsequently, a review of impartiality and absence of potential conflicts of interest shall be conducted to ensure that the communication is investigated by an impartial person in the matter. Once the impartiality and absence of conflict of interest with respect to DORNA’s Compliance Officer has been determined, this person will be informed of the communication received and it will be classified so that the pertinent investigative actions will be take once the likelihood of it being a clearly false and/or malicious communication has been ruled out.
The communication will be carefully analysed to ensure that it contains all the required information. In case there is some information or aspects missing, the informant will be required to provide them in timely manner. After one (1) month has elapsed without a response to such request and without these essential elements having been provided, the informant shall be deemed to have abandoned his or her desire to submit a communication, except for those that have been categorized as critical.
In the case of those matters on which a judicial decision or administrative file is pending, the processing of the communication will be suspended, without prejudice to the investigation of the general problems raised therein and the issuance of the pertinent generic recommendations.
3.4 Content analysis
After analysing the formality of the communication, it will be reviewed whether its content is adequate, pertinent, and justified. It will be considered unrealistic or inadequate when it has unlawful or impossible content or when it is totally outside DORNA’s competences.
In the event that the communication is not admissible, the informant will receive a reply stating the reasons for not admitting it.
3.5 Research Phase
In the event that the communication is adequate, pertinent and justified, an investigation will be opened to define the causes; as well as the immediate measures to be adapted.
In the investigation phase, an investigation period may be opened in which meetings will be held with the affected person, as well as with third parties that may be affected. Likewise, evidence or proof may be requested as deemed appropriate.
According to the above, the Compliance Officer will be responsible for the management and promotion of the internal investigations carried out and may request all the information and documentation he/she deems appropriate from any area or department, in order to substantiate the investigations.
In any case, in those communications in which the Compliance Officer may be directly or indirectly involved or a possible conflict of interest with respect to the same is detected, the communication will be sent by ECIJA to the Board of Directors or the General Director of DORNA, so that they may determine who is the competent person to carry out the specific investigation.
3.6 Conclusion and writing of the report
Once the investigation is concluded, the Compliance Officer will issue a Report in which a documented and objective statement of the facts will be contemplated, followed by a subjective statement and assessment of the situation and shall propose actions to be carried out and set forth a proposed resolution to the communication that, based on its knowledge and experience, shall be carried out.
The result obtained from the investigation report shall be forwarded to the designated person as a “double check” measure.
The person responsible for handling the communication must obtain sufficient evidence in order to be able to prove the reality of the facts reported. The person responsible for handling the communication shall inform the person concerned within one (1) month from the submission of the communication of the processing being carried out on his or her personal data.
In those cases in which the investigation reveals the veracity of the facts reported, and the application of measures (punitive and/or other measures) is appropriate, the report shall be sent to the person in DORNA who has the relevant authority for the application of the latter (General Management and/or those corresponding to the specific case).
Nevertheless, if the person responsible for handling the communication determines that the accusations described in the communication are false or malicious to the extent that they have been made deliberately with knowledge of their falsity or recklessly, they will be considered a serious breach of the Internal Information System Policy (https://dornagroup.sharepoint.com/:b:/s/LegalCommunication/Compliance/EWetEM-j9CZIvqwn8Uq2pJABEu951RkCUsccZjfZHH1mmg?e=he76pb) and Procedure For The Management Of Communications Received (https://dornagroup.sharepoint.com/:b:/s/LegalCommunication/Compliance/EQwfDz2NZ2NEt_glWj8Xk44BUVYWttcYobx6Q50CQTl9SA?e=zDrtrb) and the responsible for handling the communication may, additionally, impose disciplinary sanctions, including the employee’s dismissal, without prejudice of any legal liabilities that may arise from any false or malicious communication.
4 INADEQUATRE USE OF THE INTERNAL COMMUNICATION CHANNEL / FALSE COMMUNICATIONS
When there is sufficient evidence or when it has been demonstrated that a communication has been presented based on false facts, deliberately misrepresented or with the intention of damaging the image, credibility, honourability and/or professional reputation of any employee, it will be understood as a communication contrary to the Company’s policies and procedures. In such cases, DORNA may take all disciplinary measures applicable to the specific case, taking into account the type of communication that has occurred and the consequences thereof, which may constitute disciplinary dismissal, without prejudice to the damages incurred as a result of such breach.
DORNA has the power to initiate all legal actions if appropriate, in accordance with current legislation, arising from the breach by the employee or professional of these conditions and / or the procedures and policies of DORNA.
All aspects described in these terms and conditions of use of the Internal Communications Channel, as well as the rights and obligations of both the informant and the concerned person, are further developed in the Internal Information System Policy and Procedure For The Management Of Communications Received. These documents together with all other Corporate Compliance policies and procedures are available at all times to all DORNA’s employees at https://compliance.dorna.com/.